Paul J. Monaco

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CRD#: 1753772

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Paul J Monaco, who also goes by Paul Johnathon Monaco, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Aliases

Paul Johnathon Monaco

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1). The Tudor Arms Corporation; Not investment related; 501 W. University Pkwy, Baltimore, MD 21210; This is the Co-op where I live; Board member; Started 01/01/2026; 3 hours per month devoted; 0 hours per month devoted during trading; This is an at large elected board position for the co-op where I live. As with this type of residence, shares of the co-op are owned related to the unit in which where we live. When residents move in or out, share are purchased or sold. It is not a real estate transaction. I assist on 1-2 committees in this role.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 12, 2026 - July 29, 2026

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Hunt Valley, MD

Past

February 12, 2026 - July 29, 2026

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Hunt Valley, MD

Past

October 15, 2025 - February 9, 2026

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

BALTIMORE, MD

Past

October 15, 2025 - February 9, 2026

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

April 11, 2024 - June 12, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Baltimore, MD

Past

March 7, 2024 - June 12, 2025

MORGAN STANLEY

CRD#: 149777

Baltimore, MD

Past

July 13, 2011 - August 12, 2014

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

January 20, 1995 - August 14, 2008

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

December 12, 1990 - February 6, 1995

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/11/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/3/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/7/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/25/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/10/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

880 Carillon Parkway, St. Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St. Petersburg, FL 33716

Phone number

(727) 567-1000

Established

Florida since 02/19/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

16,780

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES WRAP FEE PROGRAM BROCHURE (3/2/2026)

INSTITUTIONAL FIDUCIARY SOLUTIONS PROGRAM BROCHURE (12/23/2025)

RAYMOND JAMES FORM ADV PART 2A BROCHURE (12/23/2025)

PUBLIC FINANCE INVESTMENT STRATEGIES BROCHURE (12/23/2025)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES FINANCIAL, INC.	HOLDING COMPANY
BARKO, SHAWN JOSEPH	CHIEF COMPLIANCE OFFICER	2690394
BUNN, JAMES	DIRECTOR	3130320
CURTIS, SCOTT	DIRECTOR	1707935
DELEON, ALLYSSA NICOLE	PRINCIPAL FINANCIAL OFFICER / FINOP	6902665
ELWYN, TASHTEGO SPRING	PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR	2319098
KONEFAL, RICHARD EUGENE	DIRECTOR	2431960
MARTIN, PHILIP ROGER	RIA CHIEF COMPLIANCE OFFICER	2613565
RUST, KEITH G	DIRECTOR, PRINCIPAL OPERATIONS OFFICER	5915636
SANTELLI, JONATHAN	GENERAL COUNSEL / SECRETARY	6306997
SICKLING, JAMES PHILIP	DIRECTOR	1240810

Regulatory assets under management

Total Number of Accounts	1,143,145
AUM (Assets Under Management)	$ 500,955,604,975

Disclosures

Regulatory Event	181
Arbitration	72

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Paul J. Monaco

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

VANGUARD MARKETING CORPORATION

VANGUARD MARKETING CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2024

Series 63

Date: 8/3/2011

Series 7TO

Date: 3/7/2024

SIE

Date: 1/25/2024

Series 7

Date: 7/12/2011

Series 6

Date: 12/10/1990

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES & ASSOCIATES, INC.

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